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(Associate) - (Full-Time) - QC
June 15, 2021Apply with LinkedInSend my CV
At PEAK, we value a culture based on trust and strive to maintain a collaborative environment and a family-like atmosphere among our employees. We offer a fast-paced environment with stimulating work to challenge you and help you reach your full potential. Do you have a bold, entrepreneurial spirit? Put your ideas to work with us!
Come Make a Difference!
Working closely with the internal audits team, you will be responsible for regulatory compliance reviews of the branches and sub-branches of PEAK Investment Services entities across Canada*. You will also ensure that policies and procedures are implemented in accordance with the regulatory requirements and support PEAK advisors maintain high standards in matters of compliance.
* The nature of the job requires a lot of local and provincial travel, which can be up to 60% of the time.
What you'll do
· Participate in the distribution of reviews to be carried out among team members
· Plan the route of the various business addresses to be inspected according to the level of risk and established procedures
· Perform all reviews of the business addresses assigned to you, either on site or by videoconference (on an exceptional basis)
· Write and have the review reports approved
· Follow up on irregularities noted in the review reports
· Participate in the development and updating of review programs in collaboration with the Chief Compliance Officers
· Continuously share relevant and appropriate information with the teams concerned
· Maintain the reviews register
· Communicate to the Director of Internal Audits all problematic situations
· Participate in inspections by regulators (IIROC, AMF and MFDA) with regard to internal audits - establishment audit segment.
What we’re looking for
· Undergraduate degree in finance, accounting, or a related discipline
· CPA title (an asset)
· Completed CSI courses (Mutual Funds, Canadian Securities, Conduct and Practices Handbook, Branch Managers…)
· Spoken and written proficiency in English and French
· 2 years of experience
· Valid driver’s license
· Available for frequent and prolonged travels outside of home
Role success factors
· Strong analytical skills
· Strong knowledge of the securities sector regulations and their applications
· Excellent communication and customer service skills
· Excellent sense of organization and prioritization, detail-oriented
· Drive for continuous education and professional development
What we offer
· Competitive salary with social benefits (group insurance, group RRSP and others)
· Flexible schedule based on a 37.5-hourtime slot
· Full-time telework when you are not traveling
· Possibility of being based in the greater Quebec City area (north shore and south shore) or from Montreal
· Training at the employee's choice (in connection with the nature of the job)
· A very nice family atmosphere made up of 140+ employees
· Various activities by the social club and the head office.
Our purpose is to make areal difference in the lives of Canadians.
Our mission is to improve the quality of people’s lives through better use of their money.
PEAK is the Canadian leader in fully independent advice.
Since its founding in 1992,PEAK has consistently expanded its horizons and now has more than $10 billion in assets under administration.
With 1,500 Advisors, registered professionals and employees across Canada, PEAK has always maintained its leadership position, yet has never lost sight of its values and mission.
We thank all applicants for their interest. However, only those selected for an interview will be contacted.